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KARP ALEXANDER C.
Date Filed :
Nov 24, 2021
View Exhibits
SEC FORM 4
SEC Form 4
FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response:
0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
1. Name and Address of Reporting Person
*
Karp Alexander C.
(Last)
(First)
(Middle)
C/O PALANTIR TECHNOLOGIES INC.
1555 BLAKE STREET, SUITE 250
(Street)
DENVER
CO
80202
(City)
(State)
(Zip)
2. Issuer Name
and
Ticker or Trading Symbol
Palantir Technologies Inc.
[
PLTR
]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X
Director
10% Owner
X
Officer (give title below)
Other (specify below)
See Remarks
3. Date of Earliest Transaction (Month/Day/Year)
11/22/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X
Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)
2. Transaction Date (Month/Day/Year)
2A. Deemed Execution Date, if any (Month/Day/Year)
3. Transaction Code (Instr. 8)
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code
V
Amount
(A) or (D)
Price
Class A Common Stock
11/22/2021
C
(1)
400,166
A
(2)
6,832,424
D
Class A Common Stock
11/22/2021
S
(1)
289,971
D
$
20.7503
(3)
6,542,453
D
Class A Common Stock
11/22/2021
S
(1)
5,712
D
$
21.4476
(4)
6,536,741
D
Class A Common Stock
11/23/2021
S
(1)
104,483
D
$
20.3639
(5)
6,432,258
D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)
2. Conversion or Exercise Price of Derivative Security
3. Transaction Date (Month/Day/Year)
3A. Deemed Execution Date, if any (Month/Day/Year)
4. Transaction Code (Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date (Month/Day/Year)
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
8. Price of Derivative Security (Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code
V
(A)
(D)
Date Exercisable
Expiration Date
Title
Amount or Number of Shares
Class B Common Stock
(2)
(2)
11/22/2021
C
(1)
400,166
(2)
(2)
Class A Common Stock
400,166
$
0.00
44,631,756
D
Employee Stock Option (Right to buy)
$
0.85
11/24/2021
M
(6)
1,915,863
(7)
12/03/2021
Class B Common Stock
(2)
1,915,863
$
0.00
0
D
Class B Common Stock
(2)
$
0.85
11/24/2021
M
(6)
1,915,863
(2)
(2)
Class A Common Stock
1,915,863
$
0.00
46,547,619
D
Explanation of Responses:
1. This transaction is part of a related series of transactions. The Reporting Person converted 400,166 shares of Class B Common Stock to Class A Common Stock on November 22, 2021, immediately sold 295,683 shares of Class A Common Stock, and then sold 104,483 of the resulting shares of Class A Common Stock on November 23, 2021. All sales were automatic sales of shares to cover required tax withholding obligations in connection with the vesting of restricted stock units on November 20, 2021 and were conducted in compliance with the Reporting Person's preexisting Rule 10b5-1 trading plan.
2. The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis and has no expiration date.
3. This transaction represents sales executed in multiple open market sales. The sales reflected in this line item were made at prices ranging from $20.19 to $21.185. The price reported above reflects the weighted average sale price of trades occurring within that price range. See footnote (4) for sales executed in other price ranges on the date indicated. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
4. This transaction represents sales executed in multiple open market sales. The sales reflected in this line item were made at prices ranging from $21.19 to $21.52. The price reported above reflects the weighted average sale price of trades occurring within that price range. See footnote (3) for sales executed in other price ranges on the date indicated. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
5. This transaction represents sales executed in multiple open market sales. The sales reflected in this line item were made at prices ranging from $20.06 to $21.03. The price reported above reflects the weighted average sale price of trades occurring within that price range. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
6. This transaction is part of a related series of transactions undertaken on November 24, 2021. The Reporting Person exercised 1,915,863 vested Class B Common Stock options that are expiring on December 3, 2021 and held the resulting shares of Class B Common Stock, resulting in a net increase in the number of shares of Class B Common Stock held as of the transaction date.
7. The options exercised in this transaction were fully vested and exercisable as of the transaction date.
Remarks:
Officer title: Chief Executive Officer
/s/ Justin V. Laubach, under power of attorney
11/24/2021
** Signature of Reporting Person
Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person,
see
Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
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